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14 Oct 2011, 12:44 pm
Spot currency exchange transactions and the raising of capital by enterprises or public bodies, including e.g. public development banks through the issuance of bonds and shares on the primary market, would not be taxed either. [read post]
25 Jun 2010, 9:49 pm
National Australia Bank ("NAB") case, the U.S. [read post]
10 Aug 2021, 8:45 pm
On 6 August 2021, the FCA published a Memorandum of Understanding between itself, the Bank of England and the United States Securities and Exchange Commission regarding consultation, cooperation and the exchange of information in the supervision and oversight of certain over-the-counter derivatives entities that operate on a cross-border basis in the United States and the United Kingdom. [read post]
9 Jun 2009, 2:13 pm
According to the Journal, Wells Fargo has agreed to pay $40 million in an agreement with the Securities and Exchange Commission (SEC) and the Massachusetts Securities Division to settle charges that Evergreen misled investors about the value of some securities it sold and making selective disclosures to investors. [read post]
16 Jan 2008, 12:31 am
Mimosa NearPoint Ensures Retention and Recovery of Critical Email Data and Improves Exchange Storage Efficiency for Major Mortgage Banking Firm Santa Clara, Calif. [read post]
9 Jul 2019, 12:57 pm
Five federal financial regulatory agencies announced on Tuesday that they adopted a final rule to exclude community banks from the Volcker Rule, consistent with the Economic Growth, Regulatory Relief, and Consumer Protection Act.The Volcker Rule generally restricts banking entities from engaging in proprietary trading and from owning, sponsoring, or having certain relationships with hedge funds or private equity funds. [read post]
19 Aug 2010, 1:08 pm
National Australia Bank. [read post]
14 Jun 2019, 9:16 am
The Securities and Exchange Commission today announced that Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), a wholly-owned subsidiary of Industrial and Commercial Bank of China Limited, will pay more than $42 million to settle charges for improper handling of “pre-released” American Depositary Receipts (ADRs). [read post]
15 Apr 2011, 6:55 am
The Securities and Exchange Commission is aiming to reach a series of settlements with individual firms over the sales of the investments, rather than a big industrywide deal, according to people familiar with the matter. [read post]
4 Feb 2010, 11:38 am
Securities and Exchange Commission’s probe over its Merrill Lynch acquisition. [read post]
6 Feb 2012, 8:49 am
The sweeping measure, which is not yet law, would target Iran’s Revolutionary Guard Corps, require companies that trade on the U.S. stock exchanges to disclose any Iran-related business to the Securities and Exchange Commission, and expand penalties for energy and uranium mining joint ventures with Tehran. [read post]
31 Oct 2016, 5:14 pm
In exchange for paying a fine and providing requested info on offshore tax evaders, banks can avoid criminal prosecution. [read post]
11 Jun 2017, 9:05 pm
” [Veronique de Rugy, more] Tags: Dodd-Frank, FATCA, Foreign Corrupt Practices Act, Securities and Exchange Commission, statutes of limitations, Supreme Court Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
17 Apr 2016, 9:05 pm
Newman” [Richard Epstein, Yale Law Journal on Second Circuit’s decision via Stoll] DoJ cracks down on big-investor activism — at least when of a sort antitrust enforcers don’t like [Matt Levine] Tags: antitrust, Department of Justice, Elizabeth Warren, guns, NYC, Operation Choke Point, Securities and Exchange Commission Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
8 Feb 2018, 3:07 am
[Terence Corcoran/Financial Post, more] Tags: arbitration, Canada, CFPB, corporate governance, harassment law, Melvyn Weiss, Milberg Weiss, Securities and Exchange Commission, securities litigation Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
22 May 2015, 6:12 am
The scheme involved collusion by traders at the various banks to fix the U.S. dollar – euro exchange rate by coordinating trades and agreeing not to buy or sell at certain times to protect one another’s trading positions. [read post]
6 Dec 2019, 2:14 pm
The post Trump asks justices to block bank subpoenas appeared first on SCOTUSblog. [read post]
26 Apr 2019, 7:33 am
American Express is referred to as AMEX on the New York Stock Exchange. [read post]
6 Apr 2017, 10:57 am
DBAG and LSEG are the two largest stock exchange operators and own the stock exchanges of Germany, Italy and the United Kingdom, as well as several of the largest European clearing houses. [read post]
6 Apr 2017, 10:57 am
DBAG and LSEG are the two largest stock exchange operators and own the stock exchanges of Germany, Italy and the United Kingdom, as well as several of the largest European clearing houses. [read post]
